Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 25 May 2023)
    • [FCA CF] Functions requiring qualifications (since 25 May 2023)
  • Albion Financial Advice Services Ltd (no longer approved here)

    FRN 769375

    • [FCA CF] Functions requiring qualifications (8 Sep 2022 to 23 May 2023)
  • Penvest Limited (no longer approved here)

    FRN 407889

    • CF1 Director (AR) (30 Dec 2020 to 5 Apr 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 19 Apr 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Apr 2022)
    • CF30 Customer (1 Jun 2018 to 5 Apr 2022)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (15 Apr 2013 to 31 Jul 2015)
    • CF1 Director (AR) (15 Aug 2012 to 12 Jan 2018)
  • Insight Financial Associates Limited (no longer approved here)

    FRN 458421

    • CF30 Customer (11 Jun 2012 to 18 Jul 2013)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF1 Director (AR) (1 Jul 2010 to 13 Jul 2012)
    • CF30 Customer (15 Jul 2009 to 13 Jul 2012)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (29 Apr 2005 to 1 Dec 2006)
    • CF22 Investment Adviser (Trainee) (14 Jan 2005 to 29 Apr 2005)
    • CF7 Sole Trader (AR) (14 Jan 2005 to 5 Oct 2005)
  • Bawtry Financial Planning (no longer approved here)

    FRN 214759

    • Employed By (14 Jan 2005 to 1 Dec 2006)
  • Bawtry Financial Services Ltd (no longer approved here)

    FRN 409473

    • Employed By (2 Dec 2004 to 18 Mar 2009)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.